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Showing 41 to 50 of 62 search results for supervisory and enforcement functions.
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The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA appoints new Director of Enforcement and Market Oversight and Director of Risk
FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Mark Steward’s role brings together the organisation’s Enforcement function with a new Market Oversight Division, which was created by incorporating the UKLA and -
FCA fines Barclays £284,432,000 for forex failings
The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London. -
The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator
Concerns about the culture within Bank of Beirut became apparent following supervisory visits to the firm in 2010 and 2011. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
Early indications that reforms of financial advice are working
Financial advisers are offering investors an increasingly professional service tailored to their individual needs, an FCA review has found. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Consumer Credit Seminar
Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.